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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 12-Mar-14 6:44 PM View:  | Oxford Lane Capital Corp. (OXLC) | 11-Mar-14 | Exercise (in-the money or at-the-money) | 5,000 | $17.00 | $85,000.00 | 12% 40.0K to 45.0K | (66%) |
| 19-Dec-13 5:04 PM View: | Oxford Lane Capital Corp. (OXLC) | 19-Dec-13 | Market Purchase | 6,000 | $17.02 | $102,114.00 | 18% 34.0K to 40.0K | (66%) |
| 19-Dec-13 5:04 PM View: | Oxford Lane Capital Corp. (OXLC) | 18-Dec-13 | Market Purchase | 3,000 | $16.96 | $50,890.00 | 10% 31.0K to 34.0K | (66%) |
| 18-Nov-13 5:14 PM View: | Oxford Lane Capital Corp. (OXLC) | 18-Nov-13 | Purchase | 10,000 | $22.50 | $225,000.00 | 100% 0 to 10.0K | |
| 26-Feb-13 4:23 PM View: | Oxford Lane Capital Corp. (OXLC) | 25-Feb-13 | Exercise (in-the money or at-the-money) | 7,000 | $14.50 | $101,500.00 | 50% 14.0K to 21.0K | (54%) |
| 30-Apr-12 5:20 PM View: | Oxford Lane Capital Corp. (OXLC) | 27-Apr-12 | Exercise (in-the money or at-the-money) | 7,000 | $13.75 | $96,250.00 | 100% 7.0K to 14.0K | (46%) |
| 21-Dec-11 5:46 PM View: | TICC Capital Corp. (OXSQ) | 21-Dec-11 | Market Purchase | 10,000 | $8.50 | $85,000.00 | 22% 44.98K to 54.98K | (35%) |
| 26-Aug-11 6:32 PM View: | Oxford Lane Capital Corp. (OXLC) | 26-Aug-11 | Exercise (in-the money or at-the-money) | 1,666 | $15.00 | $24,990.00 | 33% 5.0K to 6.67K | (45%) |
| 22-Mar-11 5:05 PM View: | Oxford Lane Capital Corp. (OXLC) | 22-Mar-11 | Market Purchase | 5,000 | $17.45 | $87,246.00 | 100% 0 to 5.0K | (52%) |
| 13-May-10 8:14 PM View: | TICC Capital Corp. (OXSQ) | 13-May-10 | Market Purchase | 5,000 | $8.00 | $40,000.00 | 14% 36.6K to 41.6K | (18%) |
| 12-May-10 7:19 PM View: | TICC Capital Corp. (OXSQ) | 12-May-10 | Market Purchase | 5,000 | $7.97 | $39,870.00 | 16% 31.61K to 36.6K | (18%) |
| 24-Mar-10 9:29 AM View: | TICC Capital Corp. (OXSQ) | 23-Mar-10 | Market Purchase | 5,104 | $6.83 | $34,858.00 | 20% 25.94K to 31.05K | (4%) |
| 24-Mar-10 9:29 AM View: | TICC Capital Corp. (OXSQ) | 22-Mar-10 | Market Purchase | 1,000 | $6.70 | $6,700.00 | 4% 24.94K to 25.94K | (2%) |
| 13-Nov-08 2:53 PM View: | TICC Capital Corp. (OXSQ) | 12-Nov-08 | Market Purchase | 10,000 | $3.01 | $30,113.00 | 83% 11.98K to 21.98K | 147% |
| 24-Jun-08 3:45 PM View: | TICC Capital Corp. (OXSQ) | 23-Jun-08 | Market Purchase | 8,000 | $5.02 | $40,121.60 | 236% 3.39K to 11.39K | 53% |
| 17-Jun-08 9:01 PM View: | TICC Capital Corp. (OXSQ) | 13-Jun-08 | Exercise (in-the money or at-the-money) | 501 | $5.20 | $2,605.20 | 20% 2.51K to 3.01K | 9% |
| 16-Aug-07 10:14 AM View: | TICC Capital Corp. (OXSQ) | 15-Aug-07 | Market Purchase | 800 | $12.02 | $9,616.00 | 55% 1.44K to 2.24K | (23%) |
| 16-Mar-06 11:53 AM View: | TICC Capital Corp. (OXSQ) | 15-Mar-06 | Grant | 1,000 | $14.80 | $14,799.00 | 348% 0.29K to 1.29K | (30%) |
| 11-Mar-05 4:58 PM View: | TICC Capital Corp. (OXSQ) | 25-Jan-05 | Exercise (in-the money or at-the-money) | 67 | $14.03 | $939.94 | 33% 0.2K to 0.27K | (19%) |